Compliance Analyst, 30-35k, Start Immediately

  • Negotiable
  • Hong Kong Hong Kong Hong Kong HK
  • Contract, Full time
  • Ambition Hong Kong
  • 10 Jan 18 2018-01-10

Our client is one of the well recognised Investment Companies who is looking for a Compliance Analyst to join their team

To work with the Compliance team and to implement the required policies and procedures inclusive of appropriate operational and compliance oversight.


  1. Assists in the implementation and execution of Compliance Monitoring Program including but not limited to conduct compliance testing and report to Head of Compliance.
  2. Reviews marketing presentations and materials for Social Media Use.
  3. Manages SFC licensing matters, on-going obligations (e.g. CPT) fulfillment, annual returns filing and FRR financial returns filing.
  4. Administers "Global Code of Ethics" policy (e.g. review personal account trading, gifts and entertainment and outside business interests).
  5. Administers the compliance filing system.
  6. Supports the governance process for Responsible Officers forum
  7. Participates in special projects and performs other duties as assigned.


  • An undergraduate degree or an equivalent combination of experience. Tertiary qualification in law and/or economics/ commerce/accounting preferred.
  • Minimum 2-3 years' compliance experience, preferably within a financial services firm's compliance function.
  • Ability to function in high volume/fast paced environment working with multiple and diverse responsibilities.
  • Good communication skills.
  • Demonstrated planning and analysis skills.
  • Strong written and verbal communication skills in both English and Chinese.
  • Fluent in Cantonese/Mandarin and English.

Contact Belinda Chan on (852) 3103 4313 or APPLY NOW by clicking the button below

Data provided is for recruitment purposes only